A Boca Raton money manager, Peter Bruno, was charged by the Florida Office of Financial Regulation, with allegedly giving unsuitable recommendations to a janitor and his wife, which caused them to lose the majority of their $70K investment. Bruno, of Wall Street Money Management Group, also hosts a financial radio show. Bruno's recommendations to the […]

On September 26, 2013, the Securities and Exchange Commission (SEC) charged Delray Beach, Florida, businessman, Ronald Walblay, and his companies, RyHolland Fielder Inc. and Energy Securities Inc., with a $12 million investment fraud in five oil and gas offerings for misrepresenting such key facts such as the amount of available reserves, the use of investor […]

On September 26, 2013, the Securities and Exchange Commission (SEC) charged Delray Beach, Florida, businessman, Ronald Walblay, and his companies, RyHolland Fielder Inc. and Energy Securities Inc., with a $12 million investment fraud in five oil and gas offerings for misrepresenting such key facts such as the amount of available reserves, the use of investor […]

Below is an article written by Bruce Kelly, of InvestmentNews, October 3rd, 2013, quoting Lars Soreide of Soreide Law Group, PLLC, on the filing of a FINRA arbitration over the sale of UBS Puerto Rican Bonds. "UBS FACING LEGAL FIGHT OVER PUERTO RICO BOND FUNDS GONE SOUTH Values slump after more than $10B sold to […]

Below is an article written by Bruce Kelly, of InvestmentNews, October 3rd, 2013, quoting Lars Soreide of Soreide Law Group, PLLC, on the filing of a FINRA arbitration over the sale of UBS Puerto Rican Bonds. "UBS FACING LEGAL FIGHT OVER PUERTO RICO BOND FUNDS GONE SOUTH Values slump after more than $10B sold to […]

The Financial Industry Regulatory Authority, FINRA, has charged John Carris Investments LLC of New York with defrauding and misleading its investors. Invictus Capital Inc, which owns Carris, sold stock in Fibrocell Science Inc (FCSC) while at the same time selling its own shares in the biotechnology company, FINRA said recently. FINRA alleges Carris mislead investors […]

Soreide Law Group is currently filing FINRA arbitrations against UBS on behalf Investors in Puerto Rican Bond Funds through UBS, Banco Popular and Banco Santander. Soreide Law Group is investigating claims for the following Puerto Rican Bond Funds: UBS Financial Services of Puerto Rico Inc.; UBS Trust Company of Puerto Rico; Puerto Rico Fixed Income […]

Soreide Law Group is currently filing FINRA arbitrations against UBS on behalf Investors in Puerto Rican Bond Funds through UBS, Banco Popular and Banco Santander. Soreide Law Group is investigating claims for the following Puerto Rican Bond Funds: UBS Financial Services of Puerto Rico Inc.; UBS Trust Company of Puerto Rico; Puerto Rico Fixed Income […]

A 68-year-old Tucson, Arizona financial advisor, James Murphy, has been sentenced to serve more than two years of probation and perform 1,000 hours of community service in a charity theft case. Murphy was also ordered to pay $115,000 of restitution and a $46,000 fine. He paid the fines on September 27, 2013. James Murphy pleaded […]